© PALAMA 2012Public Sector Risk Management • Facilitator Guide

PUBLIC SECTOR

RISK MANAGEMENT

© PALAMA 2012

Published by

PALAMA

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Sunnyside

PRETORIA, South Africa

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Education and Training Quality Assurance Body

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All rights reserved. No part of this publication may be reproduced or distributed in any form or by any means, or stored in a database or retrieval system, without the prior written consent of the Public Administration Leadership and Management Academy.

Section 1: Background Information

1.1Overview and Context4

1.2Programme Strategy4

1.3Purpose4

1.4Outcomes5

1.5Course Design and Assessment Strategy 5

1.6Learning Pathway and Articulation5

1.7Target Group6

1.8Estimated Learning Time6

1.9Roles and Responsibilities7

1.10 Gender and Inclusivity Considerations8

1.11 Notes regarding the Formative Assessments9

1.12 Integrated Assignments 9

Section 2: Guidelines to Integrated Assignments

2.1 Integrated Assignments (Units 1 to 7) 10

2.2 Integrated Assignments (Units 8 to 9) 15

Background Information

1.1Overview and Context

The Public Sector Risk Management Course is a blended solution with both online and contact session delivery strategy. Participants will therefore need access to the Internet where they will log into the online learning space using the secure username and password they received in an email message. They will be required to spend approximately an hour a day on course related activities to complete the all the units of this Course. During the course, after completing certain blocks, they will be required to complete the integrated assignments.

Remember that you as a facilitator will need to be available throughout the duration of the course to answerquestions that learners may have and/or to provide individualised feedback.

1.2Programme Strategy

The programme strategy defines the context, purpose, nature, scope and approach to teaching, learning, learner support, assessment and evaluation.

Please read and ensure that you are familiar with the programme strategy document as it impacts on your approach to the delivery of learning.

1.3Purpose

The main purpose of this course is to build capacity within the public sector by introducing fundamental risk management concepts, principles, tools and strategies to junior, middle and senior managers and supervisors who exercise some management functions over departmental activities, as well as creating a platform for application of an integrated approach to risk management.

The course aims to achieve knowledge and skills transfer in response to a critical skills gap, identified in the initial research of the CBMFM, relating to one of the key financial management competences, namely the ability to plan, perform, and report on public sector risk management activities.

1.4Outcomes

On completion of this guide, participants should be able to:

  • Demonstrate understanding of the origins, importance and legislative requirements of risk management in public sector institutions
  • Demonstrate an ability to develop and implement a risk management policy
  • Demonstrate knowledge of the effective governance structures as well as the roles and responsibilities of the role players in those governance structures
  • Develop risk management strategies and implementation plans
  • Identify and differentiate between the different categories of risk
  • Apply risk assessment principles, methologies and strategies
  • Develop risk response strategies and control activities
  • Understand the concept of risk assurance and assurance planning
  • Applying communicating and reporting activities in risk management
  • Applying monitoring and reviewing activities in risk management

1.5Course Design and Assessment Strategy

Assessment includes the following components:

  • Formative assessment: at the end of every Unit, learners will receive formative assessments which are in multiple choice format and are computer marked
  • Integrated assignments: Learners will be required to complete integrated assignments after the end of a specified number of units. These Integrated assignments will be submitted online and the facilitator will mark and give feedback online as well.

Thelearner guides as well as supporting documents accessible online are used to avail information regarding the public sector risk management. The online learningspace enables participants to submit evidence of learning and receive feedback. They have accessto the expert advice of facilitators who will assist them during the learning process.

1.6Learning Pathway and Articulation

Unit / Coverage
Unit 1 / Introduction to Risk Management in the Public Sector
Unit 2 / Risk Governance Structures
Unit 3 / Policy Framework for Risk Management
Unit 4 / Strategising and Planning for Risk Management
Unit 5 / Risk Identification
Unit 6 / Risk Assessment
Unit 7 / Risk Response and Control Activities
Unit 8 / Monitoring, Reviewing, Communicating and Reporting
Unit 9 / Risk Assurance

1.7Target Group

The course targets officials who are in key operational and strategic positions in public sector which involve risk management activities. The identified target group includes:

  • Junior, middle and senior managers and supervisors who exercise some management functions over departmental activities,
  • Chief Risk Officers and Risk Officers
  • Accounting Officers and Authorities
  • Internal Audit,
  • Audit Committee Members,
  • Risk Champions and
  • Risk Management Committee Members

As such direct beneficiaries of the course are officials involved in developing and overseeing risk management structures, systems and processes as well as those responsible for implementing risk management activities.

1.8Estimated Learning Time

Block / Learning Component / Course Coverage / Hours / Time Allocated / Period
1 / Contact Session / Programme Overview + Learner Orientation + Introduction
  • Focus on Unit 1 Content
/ 7 / 08h30 - 16h30 / Week 1
2 / Online Session / Unit 1 (Content recap + Formative Assessment) / 2 / Flexible / Week 1
Unit 2 (Content + Formative Assessment) / 5 / Flexible
Unit 3 (Content + Formative Assessment) / 4 / Flexible / Week 2
Unit 4 (Content + Formative Assessment) / 4 / Flexible
Unit 5 (Content + Formative Assessment) / 5 / Flexible / Week 3
Unit 6 (Content + Formative Assessment) / 4 / Flexible
Unit 7 (Content + Formative Assessment) / 4 / Flexible / Week 4
Integrated Assessment 1 / 6 / Flexible
Facilitator Assessment of Assignments and giving of feedback / Week 5
Feedback receipt by learners and remediation / 2.5 / Week 6
3 / Contact Session / Recap, Review, Reflection, Content Reinforcement, Presentations
  • Focus on Units 1, 2, 3, 4, 5, 6 and 7
/ 7 / 08h30 - 16h30 / Week 7
4 / On-line Session / Unit 8 (Content + Formative Assessment) / 6 / Flexible / Week 7
Unit 9 (Content + Formative Assessment) / 4 / Flexible / Week 8
Integrated Assessment 2 / 5 / Flexible
Facilitator Assessment of Assignments and giving of feedback / Week 9
Feedback receipt by learners and remediation / 2.5 / Week 10
5 / Contact Session / Recap, Review, Reflection, Content Reinforcement, feedback
  • Focus on Unit 8 and 9
  • Summary of whole course
Wrap up of course / 7 / 08h30 - 16h30 / Week 11
Estimated learning Hours / 75

1.9Roles and Responsibilities

The roles and responsibilities of the learning and assessment team are outlined below:

1.9.1The Learner

  • Learners are expected to take responsibility for their own learning in order to reach the required standard or outcome.
  • The emphasis is on whether the learner reaches the required standard or outcome and not on the training method/s nor on the facilitator.
  • Learning is value adding in that it builds contextually on the learner’s existing frames of reference.
  • Learning is success-oriented, allowing for individual learners to succeed according to own abilities.
  • Learners are given multiple opportunities to demonstrate whether the outcome has been reached.

1.9.2The Facilitator

Before the course commences:

  • Receive log in information and learner information
  • Receive the facilitator guide

During the course period:

  • Travel and accommodation costs will be incurred when the facilitator to cater for the contact sessions
  • This agreement has been entered upon the written information made available by the IIC regarding his/her skills, abilities and qualifications relevant to the particular service to be rendered. Should PALAMA at any stage during the term of this agreement ascertain that such information was in any way whatsoever incorrect, then notwithstanding clause 1.1 and clause 5, Palama shall have the right to terminate the agreement forthwith.
  • The IIC shall keep written records of all hours worked in terms of this agreement.

The following specific conditions will apply to IICs facilitating this programme:

  • The programme is offered in a blended manner - online and contact session to all participants;
  • Online tutors must be computer literate and have access to a computer and the Internet;
  • Online tutors must undergo the PALAMA half day online tutor orientation workshop and sign an online tutor contract;
  • Tutors must familiarise themselves with and implement the online facilitation guidelines provided at the online tutor orientation workshop.

1.9.3 IntegratedAssignments

During the online and contact session learning:

  • The facilitator will assist the learner in implementing skills learnt in the workplace and as outlined in the Candidate Assessment Guide.
  • The facilitator will assist the candidate in identifying and preparing to collect evidence for assessment.
  • The facilitator will give the learner constructive and developmental feedback based on the results of the integrated assignments.

1.9.4 The Assessing Facilitator

  • The assessor/facilitator will conduct the assessment, provide feedback and make an assessment judgement.
  • The assessor/facilitatorwill guide and support not-yet-competent candidates for re-assessment.
  • The assessor/facilitatorwill make arrangements for competent candidates to be certificated.

1.10Gender and Inclusivity Considerations

Historically, many women have been excluded from workplace training courses and opportunities, due to the fact that women were often employed in part-time positions doing menial work, or in low-paid positions where they fulfilled “support” functions, such as secretarial work. In either case, women’s work was often under-valued and many organisations refrained from investing in skills and career development of women employees. Equal opportunity legislation in South Africa now compels the public service to achieve numerical targets to create equity in its workforce. Consequently, it may well be a first time post-school training opportunity for some of the women, as well as people affected by disabilities, who have in the past been over-looked and excluded from workplace training initiatives. Attendance of a training course may be an intimidating experience for some participants. They may not necessarily see their existing skills and experience as meaningful, because often times their prior learning has not been recognised as a valuable contribution to the workplace.As a facilitator, you therefore need to be aware of this and needs to deal with participants’ anxiety in a constructive manner.

In addition, as participants join the training course, they often participate in the capacity and role similar to their position in the organisation. Higher ranking officials are inclined to be more talkative and in general they find it easier to participate, whereas officials in lower positions may simply accept learning content without engaging critically with issues. Many times, women are quieter when attending training, as women have been socialised to be respectful in the presence of men and older persons, and not to question what has been presented by a person in a position of authority – which could be co-participants or the facilitator. Again, as facilitator you need to build rapport with participants and ensure that women and people affected by disability feel secure and comfortable enough to participate freely and meaningfully in the training session.

By and large, women are disadvantaged when after hours assignments, including pre- and post-course activities, are required. The majority of women have domestic obligations and shoulder an unequal burden of household chores as well as child and elderly parent care. Consequently, women have less time for after hours studying and often times they are rushed, over-tired by the extra workload and are more inclined to drop out of a course or fail to complete a Portfolio of Evidence. Facilitators should also be aware that some husbands or male partners may not encourage women to further their education and development, and meet evidence thereof with intolerance or disapproval.

You have the special responsibility to present and facilitate the session in an outcomes-based and interactive manner where learners are involved in their own learning process, in order to realise the programme purpose and outcomes. We urge you to be sensitive to the needs of the group as a whole andthe individual in the group.

1.11Notes regarding the Formative Assessments

At the end of every Unit, the online system will provide formative assessment in the form of multiple choice questions.

The learner will choose their answer and the computer will generate mark the learner’s responses. Feedback after learner’s response will be provided for some of the questions in order to reinforce learning.

1.12Integrated Assignments

The integrated assignments are marked by a facilitator/assessor. Feedback will be generated and given to the learner.

Once the learner has submitted their integrated assignments, they will receive personalised feedback from the course facilitator. Note that facilitators will receive notification of assignments waiting to be marked. Refer to Appendix A for guidance on how to access submitted evidence and return assessed evidence to participants.

The facilitator will also assess the learners in class when they present on gathered evidence as stipulated in the candidate assessment guide.

Guidelines to Integrated Assignments

Introduction

This section covers the guidelines to the integrated assignments that the learners complete and submit online.

2.1 Integrated Assignments Block 1 and 2 (Units 1 to 7)

The guidelines under this section refer to the Integrated Assignments that the learners complete after completing Units 1 to 7 which are covered in Bock 1 and 2.

Integrated Assignment 1

In answering this question, learners will develop varying slides covering the session 1 and 2.

What is essential is for the facilitator to ensure that the learners have covered all the required areas and that fairly presentable slides have been developed. It is essential for the facilitator to contribute towards the development of critical cross field skills such as PowerPoint slides development.

As such the facilitator must comment on the face of the presentation.

Please refer to Appendix 2.1.1 for sample slides developed for guidance.

Integrated Assignment 2

Report 1:

Report on Risk Management Policyof Department X

Report Date: 15 September 20xx

Report Complied By: X X

Reporting to: Head of Department

Report Title: Analysis of the Risk Management Policy of Department X

  1. Introduction

This report has been compiled to detail a critical analysis of the risk management policy as of Department X. Following the findings from the analysis, a conclusion has been passed and recommendations were given to improve the policy framework and coverage of the Department.

  1. Scope of the Report

This report is limited to Department X’s Risk Management Policy provided availed for analysis.

  1. Critical Analysis of the Risk Management Policy of Department X

Following a critical analysis of the Risk management Policy of Department X, the following was noted:

(a)The policy does not acknowledge the presence of positive risk which present upside potential, which Management must be aware of and be prepared to exploit. Such opportunities are encompassed in this definition of risk.

(b)The policy only defines risk but does not define risk management. The policy neither defines enterprise risk management which is the recommended approach to risk management that has capacity to bear better results.

(c)The policy does not explicitly spell out the benefits of risk management which relate to informed decisions underpinned by appropriate rigour and analysis, innovation, reduction of waste, prevention of fraud and corruption, better value for money through more efficient use of resources as well as better outputs and outcomes through improved project and programme management.

(d)In defining the purpose of the policy, the policy focuses on acknowledging risks not necessarily risk management.

(e)The focus of the Department’s stance on risk management is to address risk in disintegrated manner. The policy on risk management is not on an entity-wide approach to risk management which is integrated.

(f)The policy does not explicitly define the principles which will be followed in rolling out risk management within the department. The following key risk management aspects have been excluded in the policy:

  • Education and training of all staff
  • Development of a risk management conscious culture
  • Implementing a management system containing the appropriate elements aimed at minimising risks and costs in the interest of all stakeholders

(g)The policy only acknowledges the various categories of role players but does not introduce/summarise their roles and responsibilities in risk management.

(h)The policy does not include all other officials as role players in risk management yet these play an important role in implementing risk management activities.

(i)The Department is not going to have a Risk Management Committee in place but instead will have the Audit Committee playing the role of the Risk Management Committee. An ideal and more effective structure is to have a Risk Management committee in place focusing specifically on providing oversight and guidance on risk management matters. This Risk Management Committee will be better placed to assist the Accounting Officer discharge their responsibilities for risk management. The Risk Management Committee’s role will be to review the risk management progress and maturity of the department, the effectiveness of risk management activities, the key risks facing the department, and the responses to address these key risks.

(j)The policy indicates that the risk management policy will be reviewed after two years. This is neither best nor recommended practice as the period is relatively longer than recommended.

  1. Conclusion

It was noted that the Department has a risk management policy and a Fraud Prevention Policy in place. However, these policies are inadequate to assist the Department to deliver to the stakeholders’ expectations thus need to be reviewed, taking into account the recommendations passed in this report. Extensive consultation needs to be done as well to inform the Department’s overall stance of risk management and fraud prevention.